Background On July 18,2014, the U.S. Securities and Exchange Commission (SEC), Office of Inspector General (OIG), Office of Investigations (01), initiated an investigation on the basis of allegations that SEC information was leaked to Reuters, ...
Tag Archives: SEC
Securities and Exchange Commission (SEC) Case #15-ENF-0290-I – Inappropriate Relationship With a Subordinate Employee
Background On June 9, 201 5, the U.S. Securities and Exchange Commission (SEC), Office of lnspector General (OIG), Office of Investigations, initiated this investigation on the basis of information provided Director Andrew Ceresney , SEC ...
Securities and Exchange Commission (SEC) CASE# 16-COM-0209-1, Employee Emailed Non Public Information to Personal GMAIL Account
Background According to the report: On September 21, 2015, the U.S. Securities and Exchange Commission (SEC), Office of the Inspector General (OIG), discovered that [ REDACTED ] Office of the Chief Accountant (OCA), may have transmitted ...
Securities Exchange Commission (SEC) “Incident Response Capability Handbook” – April 2014
Background Although the purpose and scope of this document is exempt from disclosure, I was able to find reference to the handbook to obtain a description of it, and get an idea of it’s purpose. The following comes from the 2010 Annual ...
SEC Investigation: Improper Transmission of Nonpublic Information via E-mail, May 29, 2015 (CASE# 15-ENF-0273-1)
Background On August 12, 2014, the U.S. Securities and Exchange Commission (SEC), Office of Inspector General (OIG) discovered that [REDACTED] Senior Counsel, Division of Enforcement (ENF), may have transmitted nonpublic information from his ...
